DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S••••••••• A•••••• G••••• L••

Former SEC-registered adviserOmaha, NebraskaCRD 286071SEC 801-108787IAPD
Latest filing Nov 30, 2021
First filing on the tape Dec 1, 2016 · 19 filings
RAUM
$700M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
89%
$623M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$700M as of Mar 18, 2021
Mar 29, 2018$331M then
HNW client RAUM$433M as of Mar 18, 2021
Mar 29, 2018$130M then
State-registered IARs (5.B.3)13 as of Mar 18, 2021
Mar 29, 20187 then
Employees (5.A)17 as of Mar 18, 2021
Mar 29, 201811 then
Private funds: no history
RAUM +37% over the last fiscal year+28% a year over threeIARs 12 to 13offices 1 to 2
Practice profile
derived from the filing of Nov 30, 2021; every figure names its basis
RAUM per advisor
$53.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
122derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$796,381derivedHNW RAUM over HNW clients
Average account
$216,412derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
+8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$675MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$433M62%
  • Individuals$189M27%
  • Pension and profit-sharing plans$28.5M4.1%
  • State and municipal entities$24.3M3.5%
  • Corporations and businesses$20.3M2.9%
  • Charitable organizations$4.2M0.6%
Individual clients
1,036reported
HNW clients
544reported
Pension plan clients
25reported
Charitable clients
10reported
Accounts
3,234reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• J•••••• M•••••• · Managing Member And Chief Compliance Officercontrol
    since 11/2016 · owns 75% or more
  • K••••••• C•••••• L••• · Minority Member
    since 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Norfolk, NE1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,387 to 3,234
    Dec 15, 2020 to Mar 18, 2021
  • Advisory employees · 12 to 13
    Dec 15, 2020 to Mar 18, 2021
  • BD registered reps · 12 to 13
    Dec 15, 2020 to Mar 18, 2021
  • Charity clients · 9 to 10
    Dec 15, 2020 to Mar 18, 2021
  • Corporate clients · 8 to 9
    Dec 15, 2020 to Mar 18, 2021
  • HNW clients · 432 to 544
    Dec 15, 2020 to Mar 18, 2021
  • Individual clients · 960 to 1,036
    Dec 15, 2020 to Mar 18, 2021
  • Pension plan clients · 30 to 25
    Dec 15, 2020 to Mar 18, 2021
  • Employees · 16 to 17
    Dec 15, 2020 to Mar 18, 2021
  • State-registered IARs · 12 to 13
    Dec 15, 2020 to Mar 18, 2021
  • Other offices · 1 to 2
    Dec 15, 2020 to Mar 18, 2021
  • Discretionary RAUM · $510M to $651M
    Dec 15, 2020 to Mar 18, 2021
  • HNW RAUM · $282M to $433M
    Dec 15, 2020 to Mar 18, 2021
  • Individual RAUM · $164M to $189M
    Dec 15, 2020 to Mar 18, 2021
  • Non-discretionary RAUM · $360,037 to $49.3M
    Dec 15, 2020 to Mar 18, 2021
  • Pension RAUM · $18.9M to $28.5M
    Dec 15, 2020 to Mar 18, 2021
  • RAUM · $510M to $700M
    Dec 15, 2020 to Mar 18, 2021
  • Wrap assets (sponsor) · $510M to $0
    Jun 10, 2020 to Sep 14, 2020
  • Accounts · 2,863 to 2,387
    Nov 8, 2019 to Mar 26, 2020
  • Advisory employees · 8 to 12
    Nov 8, 2019 to Mar 26, 2020
  • BD registered reps · 8 to 12
    Nov 8, 2019 to Mar 26, 2020
  • Charity clients · 8 to 9
    Nov 8, 2019 to Mar 26, 2020
  • Corporate clients · 5 to 8
    Nov 8, 2019 to Mar 26, 2020
  • HNW clients · 356 to 432
    Nov 8, 2019 to Mar 26, 2020
  • Individual clients · 867 to 960
    Nov 8, 2019 to Mar 26, 2020
  • Pension plan clients · 21 to 30
    Nov 8, 2019 to Mar 26, 2020
  • Employees · 17 to 16
    Nov 8, 2019 to Mar 26, 2020
  • State-registered IARs · 8 to 12
    Nov 8, 2019 to Mar 26, 2020
  • Discretionary RAUM · $368M to $510M
    Nov 8, 2019 to Mar 26, 2020
  • HNW RAUM · $192M to $282M
    Nov 8, 2019 to Mar 26, 2020
  • Individual RAUM · $126M to $164M
    Nov 8, 2019 to Mar 26, 2020
  • Non-discretionary RAUM · $402,728 to $360,037
    Nov 8, 2019 to Mar 26, 2020
  • Pension RAUM · $12.8M to $18.9M
    Nov 8, 2019 to Mar 26, 2020
  • RAUM · $368M to $510M
    Nov 8, 2019 to Mar 26, 2020
  • Wrap assets (sponsor) · $336M to $510M
    Nov 8, 2019 to Mar 26, 2020
  • Related insurance company · false to true
    Aug 14, 2019 to Nov 7, 2019
  • Accounts · 2,502 to 2,863
    Oct 15, 2018 to Mar 15, 2019
  • Advisory employees · 7 to 8
    Oct 15, 2018 to Mar 15, 2019
  • BD registered reps · 7 to 8
    Oct 15, 2018 to Mar 15, 2019
  • Charity clients · unset to 8.0
    Oct 15, 2018 to Mar 15, 2019
Signals
20 dated events
  • E••• M•••••• M••••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • P•••• J• D••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-04)
    Mar 31, 2022 · a•••••• firm change · fact
  • P••••••• L••• S•••• K•••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • T•••••• J••• K•••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • L•••••• L•• B••••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • J•••• J••••• S••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • J••••• M•••••• G••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • S••••••••• A•••••• G••••• L••'s advisors moved to G•••••••• W••••• P••••••• (Omaha, NE): 12 of 12 registered, on the same day
    Mar 31, 2022 · Firm absorbed (people side) · derived
  • R•••• J••• W•••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-04)
    Mar 31, 2022 · a•••••• firm change · fact
  • C••••• L••• K•••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • T•••••• M••••• V•••••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • D••••• C•••••• B•••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2026-01-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • A•••••• M• G••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
    Mar 31, 2022 · a•••••• firm change · fact
  • 2 advisors left S••••••••• A•••••• G••••• L•• (Omaha, NE) for T•• W••••• C••••••••• G•••• on the same day
    Mar 30, 2022 · Team lift-out · derived
  • F••• W•••••• S••••••••• left S••••••••• A•••••• G••••• L•• for T•• W••••• C••••••••• G•••• (registered 2022-04-06)
    Mar 30, 2022 · a•••••• firm change · fact
  • L•••••• J••• S••••••••• left S••••••••• A•••••• G••••• L•• for T•• W••••• C••••••••• G•••• (registered 2022-04-06)
    Mar 30, 2022 · a•••••• firm change · fact
  • S••••••••• A•••••• G••••• L•• reported RAUM $699.9M, up 37% from $510.2M (2020-12-15 to 2021-03-18)
    Mar 18, 2021 · RAUM change · derived
  • S••••••••• A•••••• G••••• L•• reported RAUM $510.2M, up 39% from $368.3M (2019-11-08 to 2020-03-26)
    Mar 26, 2020 · RAUM change · derived
  • S••••••••• A•••••• G••••• L•• reported RAUM $330.6M, up 199% from $110.4M (2017-04-19 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
  • S••••••••• A•••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Dec 1, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026